Michael T. Foley

Michael Foley represents broker-dealers, investment advisers and other financial services industry participants with respect to a broad spectrum of legal and regulatory matters arising under the federal securities laws.

Michael has nearly 20 years of experience in private practice and in-house at both a large, full-service broker-dealer and at an online discount broker-dealer, advising broker-dealers and other financial institutions regarding compliance with the federal securities and commodities laws, and with the regulations of the US Securities and Exchange Commission, the US Commodity Futures Trading Commission and financial industry self-regulatory organizations.

Michael previously spent seven years at UBS Financial Services Inc. where he worked in several capacities, including as the legal counsel for the Midwest Region which included more than 50 retail branch offices and in excess of 1,000 employees. More recently, Michael served as the sole legal counsel to that firm’s equity compensation administration, Rule 10b5-1 trading, middle markets fixed income and discretionary cash management businesses.

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